SEC Form 4 · accession 0001144204-16-128562
NAVIDEA BIOPHARMACEUTICALS, INC. · NAVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael M Goldberg
Officer — President & CEO · Director
Period of report
Oct 17, 2016
Accepted (ET)
Oct 19, 2016 · 11:48 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000810509
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to Buy)F1 | $0.01 | Oct 17, 2016 | J | 5,411,850 | A | Oct 17, 2016 | Aug 20, 2035 | Common Stock | 5,411,850 | 5,411,850 | D |
Explanation of responses
- F1Warrants acquired from Platinum Partners Value Arbitrage Fund pursuant to a Separation Agreement, dated March 28, 2014, and amended on June 11, 2015.